GUIDE TO THE LOGICAL FRAMEWORK APPROACH: A KEY TOOL TO ...

MINISTRY OF FINANCE GOVERNMENT OF REPUBLIC OF SERBIA

SECTOR FOR PROGRAMMING AND MANAGEMENT OF EU FUNDS AND DEVELOPMENT ASSISTANCE

GUIDE TO THE LOGICAL FRAMEWORK APPROACH:

A KEY TOOL TO PROJECT CYCLE MANAGEMENT

Final Version (draft)

This guide is an initiative from the DACU, funded by SIDA/DfID "Joint Programme for Support to the MIER for improvement of coordination, planning, programming and implementation of development assistance". It was written by consultant from Ramboll Management.

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TABLE OF CONTENT INTRODUCTION ............................................................................................................... 4

WHO ARE THESE GUIDELINES FOR ? ..................................................................................... 4 STRUCTURE OF THE GUIDE................................................................................................ 4

PART I THE LFA IN THE PROJECT CYCLE MANAGEMENT ........................................................... 5

1 OVERVIEW OF THE LFA ................................................................................................ 5

1.1 WHAT IS IT? ..................................................................................................... 5

1.2

THE LOGICAL FRAMEWORK MATRIX (LOGFRAME): A SYNTHETIC REPRESENTATION OF THE PROJECT IN

A GIVEN CONTEXT.......................................................................................................... 6

1.3 THE PROS AND CONS OF LFA ................................................................................ 10

2 LINK TO THE PROJECT CYCLE MANAGEMENT ........................................................................ 11

2.1 PROJECT CYCLE MANAGEMENT: BASICS AND PRINCIPLES ................................................ 11

2.2

COORDINATING THE PROJECT CYCLE MANAGEMENT IN AN INTEGRATED PLANNING SYSTEM ........... 14

2.3 USING THE LFA AT VARIOUS STAGE OF PCM .............................................................. 17

3 PRACTICAL ISSUES IN APPLYING THE LOGFRAME APPROACH ..................................................... 25

PART II USING THE LFA FOR PROJECT DESIGN .................................................................... 28 1 THE TWO MAIN STAGES OF LFA..................................................................................... 28 2 THE ANALYSIS STAGE ................................................................................................. 29

2.1 PREPARATORY ANALYSIS...................................................................................... 29 2.2 STAKEHOLDER ANALYSIS ..................................................................................... 29 2.3 PROBLEM ANALYSIS (PROBLEM TREE) ....................................................................... 33 2.4 ANALYSIS OF OBJECTIVES (OBJECTIVE TREE) .............................................................. 35 2.5 ANALYSIS OF STRATEGIES OR ALTERNATIVES.............................................................. 38 3 THE PLANNING STAGE ................................................................................................ 41 3.1 THE LOGFRAME: FORMAT AND PROCESS OF PREPARATION ................................................ 41 3.2 FIRST COLUMN: THE INTERVENTION LOGIC ............................................................... 42 3.3 FOURTH COLUMN: THE ASSUMPTIONS ...................................................................... 46 3.4 SECOND AND THIRD COLUMNS: INDICATORS AND SOURCE OF VERIFICATION ......................... 49 3.5 COMPLETING THE DRAFT LOGFRAME MATRIX ............................................................... 52 4 CHECKING THE PROJECT DESIGN .................................................................................... 53 4.1 TARGET GROUPS............................................................................................... 54 4.2 OVERALL OBJECTIVE .......................................................................................... 55 4.3 PURPOSE ....................................................................................................... 55 4.4 RESULTS ....................................................................................................... 56 4.5 ACTIVITIES..................................................................................................... 56 4.6 INPUTS ? RESOURCES ........................................................................................ 57 4.7 ASSUMPTIONS ................................................................................................. 58 4.8 INDICATORS ................................................................................................... 58

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PART III ANNEXES ....................................................................................................... 59 1- GLOSSARY OF TERMS AND CONCEPTS USED IN LFA .............................................................. 60 2- LFA WORKSHOPS .................................................................................................... 62 3- LOGICAL FRAMEWORK MATRIX IN STANDARD FORMAT............................................................ 64 4- EXAMPLE OF LOGFRAME: CAPACITY BUILDING OF THE MINISTRY OF AGRICULTURE AND WATER MANAGEMENT AND SUPPORT TO RURAL ECONOMIC DEVELOPMENT .................................................................. 65 5- EXAMPLE OF LOGFRAME : STRENGTHENING OF THE INSTITUTE OF PUBLIC HEALTH LABORATORY SERVICES IN SERBIA ................................................................................................................ 71 6- RISK ANALYSIS STEP BY STEP....................................................................................... 83 7- LOGICAL QUESTION LIST (CHECK UP LIST) ........................................................................ 84 8- SOURCES ............................................................................................................. 87

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INTRODUCTION

The Logical Framework Approach is an analytical and management tool which is now used (in one form or another) by most multi-lateral and bi-lateral aid agencies, international NGOs and by many partner governments for the management of development projects.

Developed in the late 1960's to assist the US Agency of International Development to improve its project planning and evaluation system, the Logical Framework Approach (LFA) was designed to address three basic concerns, namely that:

- Planning was too vague, without clearly defined objectives that could be used to monitor and evaluate the success (or failure) of a project;

- Management responsibilities were unclear; and

- Evaluation was often an adversarial process, because there was no common agreement as to what the project was really trying to achieve.

The LFA has since been adopted as a project planning and management tool by most donors, multilateral and bilateral development agencies. Even though different agencies/donors modify the formats, terminology and tools used in their LFA, the basic analytical principles have remained the same.

Indeed, the EU, the main external donor to Serbia, requires the development of a Logframe Matrix as part of its IPA project formulation procedures. Other donors such as Norad (Norway), Dfid (UK), GTZ (Germany) also use the LFA as a core tool to the project cycle management.

The LFA is a very effective analytical and management tool when understood and intelligently applied. However, it is not a substitute for experience and professional judgment and must also be complemented by the application of other specific tools (such as Economic and Financial Analysis and Environmental Impact Assessment) and through the application of working techniques which promote the effective participation of stakeholders.

WHO ARE THESE GUIDELINES FOR ?

Therefore, knowledge of the principles of LFA is essential for all staff involved in the programming and design as well as the implementation of development projects.

Theses Guidelines aims at providing instruction to develop a Logical Framework Approach at the various stages of the project management cycle, in order to improve both the consistency and quality of project documents throughout the different stages of the project cycle.

STRUCTURE OF THE GUIDE

While the first part of the guide present what is the logical framework approach and its linkages with the project cycle management, the second part provide guidance to use the Logical Framework Approach for the design of development project and elaborate a logframe matrix.

The concepts described are illustrated by different examples. The main example used all along this guideline is a project related to water treatment taken from the PCM Guidelines published by the European Commission. It has been adapted to meet the specific need of this manual.

Moreover the examples of logframe in annex 4 and 5 are taken from CARDS program to Serbia. They summarise two different projects:

- Capacity building of the ministry of agriculture and water management and support to rural economic development

- Strengthening of the Institute of Public Health Laboratory Services in Serbia

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PART I THE LFA IN THE PROJECT CYCLE MANAGEMENT

1 OVERVIEW OF THE LFA

1.1 WHAT IS IT?

The LFA is an analytical process and set of tools used to support objectives-oriented project

planning and management. It provides a set of interlocking concepts which are used as part of an iterative process to aid structured and systematic analysis of a project or programme idea.

The LFA is a way of describing a project in a logical way so that it is:

The LFA should be thought of as an `aid to thinking'. It ? Well designed.

allows information to be analysed and organized in a

structured way, so that important questions can be asked, ? Described objectively.

weaknesses identified and decision makers can make informed decisions based on their improved understanding ? Can be evaluated.

of the project rationale, its intended objectives and the

means by which objectives will be achieved.

? Clearly structured.

In the perspective of a logical framework approach, the purpose of development projects is to induce change whose results are desired within the project environment and society at large. We assume that there is general agreement about the improved situation before project planning takes place. This will make it possible to agree upon the purpose and the (overall) goal of the project.

A development project is based on its input of resources, the implementation of certain activities, and will result in a number of outputs which are expected to contribute to the desired objectives. Inputs, activities and outputs are elements of a project; they are not in themselves a measure of success or failure.

It is important that the desired future situation is described in such a way that it is possible to check at a later stage to what extent the project has been successful in relation to its objectives and the target groups (on the basis of indicators).

The success of a project depends upon a number of factors that can be controlled by the project management, as well as upon a number of external assumptions and risks. During planning and implementation it is extremely important to identify, monitor and analyze external assumptions, since they may cause the project to fail even if it is implemented as planned.

The most important concepts used in the LFA are schematised in the figure below. The terminology used in the logical framework approach is defined in annex 1 .

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